Pre-Audit OPERATIONAL DOCUMENT CHECKLIST

1 ODC-1 Pre-AuditOPERATIONAL DOCUMENT CHECKLIST1 GENERAL INFORMATIONP remise InformationInformation to be reviewedAvailableNotAvailableNotApplicab leLocation of Documents/Comments1. Diagrams of premises layout2. Drainage layout plans3. Environmental reports (prepared in-house or by external consultants) 4. Diagrams of ventilation ducting layout5. Diagrams of lighting wiring layoutODC-2 Pre-AuditOPERATIONAL DOCUMENT CHECKLIST2 OVERALL ENVIRONMENTAL MANAGEMENTI nformation to be reviewedAvailableNotAvailableNotApplicab leLocation of Documents/Comments1. Departmental Environmental Policy Statement2. Procedures and schedules for reviewing the Environmental Policy3. Record of overall environmental performance review meetings 4. Departmental environmental management structure ODC-3 Pre-AuditOPERATIONAL DOCUMENT CHECKLIST3 MATERIALS PROCUREMENT POLICYI nformation to be reviewedAvailableNotAvailableNotApplicab leLocation of Documents/Comments1.

2 Procurement policy2. Procedures for inventory keeping, updating and checking3. Procedures for the review and selection of materials that are not environmentally detrimental4. Guidelines on 'green products' for suppliersODC-4 Pre-AuditOPERATIONAL DOCUMENT CHECKLIST4 ENERGY MANAGEMENTI nformation to be reviewedAvailableNotAvailableNotApplicab leLocation of Documents/Comments1. Energy use records for the past three years: - Gas - Electricity - Liquid Fuel - Solid Fuel Evaluation Frequency2. Audit reports or monitoring data on energy conservation3. Procedures or guidelines for energy conservation4. Documentation on energy conservation upgrades over past three yearsODC-5 Pre-AuditOPERATIONAL DOCUMENT CHECKLIST5 HAZARDOUS MATERIAL* MANAGEMENTO ffice OperationInformation to be reviewedAvailableNotAvailableNotApplicab leLocation of Documents/Comments1.

3 Procedures or guidelines for material management ( specific storage and handling procedures, etc.)2. List of any hazardous materials and chemicals stored within the office Diagrams showing the routes for hazardous materials and chemicals transport4. Diagrams showing the storage areas, for hazardous materials and chemicals * Hazardous material denotes substances which can threaten public health; including substances controlled by the Dangerous Good Ordinance ( ), Pesticides Ordinance ( ) and Air Pollution Control Ordinance ( ) and Factories and Industrial Undertakings Ordinance ( ).ODC-6 Pre-AuditOPERATIONAL DOCUMENT CHECKLIST5 HAZARDOUS MATERIAL* MANAGEMENT (Cont'd) laboratory Operation / Public ServiceInformation to be reviewedAvailableNotAvailableNotApplicab leLocation of Documents/Comments5. Certification for the analyses being conducted (eg.)

4 HOKLAS** certification)6. DOCUMENT on contracted out laboratory analyses and copies of the laboratories' certification for the analyses7. Evidence of analytical methods used in compliance with standard methods8. Dangerous goods / chemicals inventory9. List of permits for storage of dangerous goods and chemicals10. Procedures or guidelines for dangerous goods / chemical handling* Hazardous material denotes substances which can threaten public health; including substances controlled by the Dangerous Good Ordinance ( ), Pesticides Ordinance ( ) and Air Pollution Control Ordinance ( ) and Factories and Industrial Undertakings Ordinance ( ).** HKOLAS denotes Hong Kong laboratory Accreditation SchemeODC-7 Pre-AuditOPERATIONAL DOCUMENT CHECKLIST5 HAZARDOUS MATERIAL* MANAGEMENT (Cont'd) laboratory Operation / Public Service (Cont'd)Information to be reviewedAvailableNotAvailableNotApplicab leLocation of Documents/Comments11.

5 Diagrams showing hazardous materials storage areas12. Hazardous materials inspection logs13. Material Safety Data Sheet (MSDS) file14. Guidelines provided for training of staff in handling hazardous materials/chemicals15. Documentation/training for personnel16. Violation notices received17. Alarm systems and evacuation procedures in case of an emergency * Hazardous material denotes substances which can threaten public health; including substances controlled by the Dangerous Good Ordinance ( ), Pesticides Ordinance ( ) and Air Pollution Control Ordinance ( ) and Factories and Industrial Undertakings Ordinance ( ).ODC-8 Pre-AuditOPERATIONAL DOCUMENT CHECKLIST5 HAZARDOUS MATERIAL* MANAGEMENT (Cont'd)PesticidesInformation to be reviewedAvailableNotAvailableNotApplicab leLocation of Documents/Comments18. Pesticides inventory19.

6 Pesticides storage area diagrams20. Guidelines for pesticide handling21. Records of the use of pesticides in office and laboratory areas for the past three years22. Violation notices received in the past three years * Hazardous material denotes substances which can threaten public health; including substances controlled by the Dangerous Good Ordinance ( ), Pesticides Ordinance ( ) and Air Pollution Control Ordinance ( ) and Factories and Industrial Undertakings Ordinance ( ).ODC-9 Pre-AuditOPERATIONAL DOCUMENT CHECKLIST5 HAZARDOUS MATERIAL* MANAGEMENT (Cont'd)AsbestosInformation to be reviewedAvailableNotAvailableNotApplicab leLocation of Documents/Comments23. Formal asbestos management plan or policy statement24. Asbestos-containing materials (ACM) inspection or survey reports25. ACM management or monitoring plans and copies of any ACM abatement or removal plans or certifications26.

7 Regulatory agency inspection reports27. Notices of violation received pertaining to asbestos28. List of any operations which generate asbestos waste * Hazardous material denotes substances which can threaten public health; including substances controlled by the Dangerous Good Ordinance ( ), Pesticides Ordinance ( ) and Air Pollution Control Ordinance ( ) and Factories and Industrial Undertakings Ordinance ( ).ODC-10 Pre-AuditOPERATIONAL DOCUMENT CHECKLIST6 WATER SUPPLY MANAGEMENTI nformation to be reviewedAvailableNotAvailableNotApplicab leLocation of Documents/Comments1. List of sources of water supply (including that for flushing) 2. Records of water consumption (office and laboratory )3. Water quality monitoring data4. Details of water pretreatment systemODC-11 Pre-AuditOPERATIONAL DOCUMENT CHECKLIST7 WASTEWATER MANAGEMENTI nformation to be reviewedAvailableNotAvailableNotApplicab leLocation of Documents/Comments1.

8 Wastewater discharge licence(s)2. Expedient connection & site drainage plan3. Effluent discharge monitoring data4. Regulatory inspection reports 5. Violation notices received in the past 6. Floor plans the wastewater storage and discharge points7. Accessibility of discharge point(s) for sampling8. Details of existing wastewater treatment facilities 9. Operation and maintenance manual(s) for wastewater treatment facility(ies)10. Procedures or guidelines for collection, preparation and analysis of wastewater samplesODC-12 Pre-AuditOPERATIONAL DOCUMENT CHECKLIST 8 WASTE* MANAGEMENTI nformation to be reviewedAvailableNotAvailableNotApplicab leLocation of Documents/Comments1. Permit(s) or licence(s) for waste storage, transportation and disposal with specification of terms and conditions2. Procedures or guidelines for waste handling3.

9 Guidelines for classification of waste4. Diagrams showing waste storage areas and routes for waste handling5. List of sources generating these wastes6. Waste analysis data and profiles for all current waste streams7. Waste surveys or reports prepared8. Copies of any regulatory inspection reports * Waste denotes dangerous waste, chemical waste, biological/infectious waste, solid waste, radioactive waste and other DOCUMENT CHECKLIST8 WASTE* MANAGEMENT (Con'd)Information to be reviewedAvailableNotAvailableNotApplicab leLocation of Documents/Comments9. Any violation notices received 10. Waste transportation and disposal documentation (including waste contractor licences and any associated documents)11. Waste recycling and minimization plan and associated documents12. Documents related to the disposal facilities used13. Operating records of any disposal facilities14.

10 Any incident reports for the past three years15. Waste control or management licences issued from the appropriate authorities 16. Safety procedures or programmes. * Waste denotes dangerous waste, chemical waste, biological/infectious waste, solid waste, radioactive waste and other DOCUMENT CHECKLIST8 WASTE* MANAGEMENT (Con'd)Information to be reviewedAvailableNotAvailableNotApplicab leLocation of Documents/Comments17. Details of waste segregation programme(s)18. Dangerous Goods Licence(s) 19. Training records for personnel * Waste denotes dangerous waste, chemical waste, biological/infectious waste, solid waste, radioactive waste and other wastes. ODC-15 Pre-AuditOPERATIONAL DOCUMENT CHECKLIST9 AIR QUALITY MONITORING AND CONTROLG eneralInformation to be reviewedAvailableNotAvailableNotApplicab leLocation of Documents/Comments1. Air quality policy2.